Richard Joseph Barton
Professional Summary
Richard Joseph Barton is a registered financial advisor currently at CNR SECURITIES, LLC located in New York, New York and RBC SECURITIES, INC located in New York, New York. Richard is registered as a RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
CITY NATIONAL SECURITIES, INC. | RBC SECURITIES, INC. | RBC SECURITIES, INC
Contact Information
Main Address
555 South Flower Street 11th Floor, Los Angeles, CA 90071Mailing Address
555 South Flower Street 11th Floor, Los Angeles, CA 90071Phone Number
(310) 888-6400Established
California since 11/03/1999Firm Type
CorporationFiscal Year End
OctoberFirm Size
Medium# of Employees
186SEC notice filing (31 States and Territories)
Registered to provide investment advisory services in 31 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 31 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | OWNER | — |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| BRETADO, SANTIAGO AVILA | VP & CHIEF FINANCIAL OFFICER | 1945627 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | BOARD DIRECTOR | 3182583 |
| MAGUIRE, WILLIAM JOHN JR | PRESIDENT, CHIEF EXECUTIVE OFFICER & BOARD DIRECTOR | 2040885 |
| O'KEEFFE, IVOR PATRICK | CHIEF OPERATING OFFICER & BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 7574191 |
| WILLIAMS, BRANDON | CHAIRMAN OF THE BOARD | 2764403 |
Regulatory Assets Under Management
Total Number of Accounts
1,781AUM (Assets Under Management)
$1,515,102,638Disclosures
Regulatory Event
3Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/27/2026 | Cover Page | Report |
| 01/28/2025 | Cover Page | Report |
| 10/27/2023 | Cover Page | Report |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
CITY NATIONAL SECURITIES, INC. | RBC SECURITIES, INC. | RBC SECURITIES, INC
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1995About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard Joseph Barton's CRS (Customer Relationship Summary).
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